Module 2: Essentials of Capital Market Regulations: AMLA

Recommended Learning Hours: 30 minutes

Overview

This course provides participants with an overview of AMLA, its importance and its management to meet legal and regulatory requirements and expectations. It will also enhance participants’ ability to apply appropriate measures to mitigate the money laundering and financing risk in the compliance function.  

Objective

Upon completion of this programme, participants will be able to:

1. Explain the requirements under AMLA applicable to capital markets
2. Recognise transactions which fall under AML laws and regulation
3. Determine processes and practices to detect and prevent AML
4. Describe the roles and functions of the relevant regulatory bodies related to capital market activities

Topics

This module will cover:

1. AMLA Regulatory Framework
2. The role and importance of AMLA
3. AMLA Guidelines for the Capital Market
4. AML Detection and Prevention
5. The Compliance Role in AMLA

Module 3: Essentials of Compliance

Recommended Learning Hours: 30 minutes

Overview

This course primarily provides an overview on the concept and importance of compliance, the roles and responsibilities of different parties within a firm in relation to compliance, the functions of compliance officers which include providing advisory, compliance review, conducting or assist in conducting compliance training programme and developing a compliance programme. The course also covers compliance issues including the impact of technology on the compliance role.  

Objective

Upon completion of this programme, participants will be able to:

1. Identify the roles and responsibilities of the compliance function in the firm
2. Analyse the costs and benefits of compliance
3. Explain the impact of technological advances which give rise to compliance issues
4. Determine factors to consider in creating an effective compliance framework

Topics

This module will cover:

1. Essential Compliance Concepts and Principles
2. Compliance Function – Roles and Responsibilities
3. Functions of Compliance Officers
4. Costs and Benefits of Compliance
5. Rules and Regulations on Compliance
6. Compliance Issues and Impact of Technology on Compliance Officers
7. Compliance Review
8. Essential Framework of a Compliance Programme

Module 4: Essentials of Customer Service: Know Your Client

Recommended Learning Hours: 30 minutes

Overview

This course will introduce participants to the concept of effective customer service ranging from customer focus, sales & marketing and know your client and the role of compliance.  

Objective

Upon completion of this programme, participants will be able to:

1. Recognise services offered from the customer’s perspective
2. Identify appropriate communication style for internal and external customers
3. Review and propose actions in KYC processes to enhance customer experience while meeting regulatory requirements

Topics

This module will cover:

1. Introduction to Customer Focused Services
2. Build a customer knowledge set (internal/external)
3. Communication Focus (internal/external)
4. Dealing with difficult customers and Pro-active Recovery (internal/external)

Module 5: Compliance, Corporate Governance, Risk and Ethics

Recommended Learning Hours: 30 minutes

Overview

This course will provide participants with an introduction on the relevance of corporate governance, risk management and ethics & integrity to compliance in the Malaysian capital market. Participants will be exposed to recommended practices of corporate governance, the identification of risk management practices in organisations, the concept and principles of ethics and integrity in relation to overall compliance for the capital market.  

Objective

Upon completion of this programme, participants will be able to:

1. Define and outline the principles and requirements of good corporate governance
2. Recognise emerging risks issues and trends in the capital market industry
3. Identify practices that promote fairness and transparency in dealing with others
4. Explain the important elements in the Code of Ethics and Code of the Conduct

Topics

This module will cover:

1. Corporate Governance Principles, Framework and Practices
2. Introduction to Risk Management
3. Practice of Risk Management in the Capital Market
4. Concept and Principles of Ethics and Integrity
5. Code of Ethics and Code of the Conduct for the Capital Market
6. The relationship between corporate governance, risk management, ethics and integrity and the compliance role

Module 6: Introduction to Capital Markets: Economics, Products and Services

Recommended Learning Hours: 30 minutes

Overview

This course provides an overview of economics, capital market environment, types of the capital market products such as equities, fixed income, derivatives, hybrid securities as well as the money market instrument. The concept of time value of money and basic finance theories will be introduced to gain an understanding on risk and return of capital market products.  

Objective

Upon completion of this programme, participants will be able to:

1. Recognise the effects of economic changes, monetary and fiscal policies on the capital market environment and businesses
2. Identify factors driving the performance of capital market products
3. Distinguish between Conventional and Islamic Capital Market (ICM)
4. Explain the risk and return relationship for capital market products

Topics

This module will cover:

1. Introduction to Capital Market Environment
2. Fundamental of Economics
3. Capital Market Products and Services (Features, Characteristics and Risk)
4. Overview of Risk and Return
5. Introduction to Islamic Capital Market

Module 7: Securities Trading, Derivatives Dealing and Settlements And Client Advisory In Malaysia (Part 1)

Recommended Learning Hours: 15 minutes

Overview

This course provides an overview on securities trading and derivatives dealing and settlement in Malaysia, the regulations, the process of trading and dealing in securities and derivatives, dealing with client and the advisory function in relation to dealing in securities and derivatives. This course provides an overview on the regulations and processes related to dealing in securities and derivatives in Malaysia, ranging from advising clients to trading and settlement  

Objective

Upon completion of this programme, participants will be able to:

1. Differentiate the obligations and rights between counterparties of a securities trade and derivatives dealing
2. Identify products, relevant rules and regulations for securities trade and derivatives dealing and settlement

Topics

This module will cover:

1. Overview on Securities and Derivatives
2. Securities
3. Derivatives

 

Module 7: Securities Trading, Derivatives Dealing and Settlements And Client Advisory In Malaysia (Part 2)

Recommended Learning Hours: 15 minutes

Overview

This course provides an overview on securities trading and derivatives dealing and settlement in Malaysia, the regulations, the process of trading and dealing in securities and derivatives, dealing with client and the advisory function in relation to dealing in securities and derivatives. This course provides an overview on the regulations and processes related to dealing in securities and derivatives in Malaysia, ranging from advising clients to trading and settlement  

Objective

Upon completion of this programme, participants will be able to:

1. Explain all deals in the trading system in accordance with procedures and regulations
2. Identify the types of trade and margin required for settlements
3. Outline the process for payment and transfer of securities stipulated in the rules, regulations and procedures

Topics

This module will cover:

1. Dealing, Trading and Settlement Process
2. Dealing with client on Securities Trading and Settlement Process
3. Understanding and interpreting disclosure documents for securities trading

Module 7: Securities Trading, Derivatives Dealing and Settlements And Client Advisory In Malaysia (Part 3)

Recommended Learning Hours: 15 minutes

Overview

This course provides an overview on securities trading and derivatives dealing and settlement in Malaysia, the regulations, the process of trading and dealing in securities and derivatives, dealing with client and the advisory function in relation to dealing in securities and derivatives. This course provides an overview on the regulations and processes related to dealing in securities and derivatives in Malaysia, ranging from advising clients to trading and settlement  

Objective

Upon completion of this programme, participants will be able to:

1. Identify and outline the rules and guidelines related to market misconduct, offences and unethical business conduct
2. Identify issues arising from Digital Technologies and other technological advancements

Topics

This module will cover:

1. Client Advisory
2. Market Misconduct
3. Digital Technology Application

Module 8: Fundamentals of Fund Management and Client Advisory in Malaysia

Recommended Learning Hours: 30 minutes

Overview

This course covers the fundamentals in relation to fund management from the rules and regulations applicable to fund management companies to the various theories and methods used for the construction of investment portfolios for clients.  

Objective

Upon completion of this programme, participants will be able to:

1. Outline the regulatory requirements and procedures for fund management
2. Explain the theories, principles and processes of fund management and the tools to manage a portfolio
3. Determine procedures to comply with fund management practices
4. Discuss market developments, trends and market data that have an impact on portfolio performance

Topics

This module will cover:

1. The Fund Management Industry
2. Investment Background
3. Portfolio Construction
4. Monitoring and Review Fund
5. Compliance and Risk Management
6. Digital Technology Application

Thinking and Communication Skills for Compliance Officers

Overview

The key roles Compliance Officers need to focus on are advising, educating and monitoring. Practical skills necessary to carry out the compliance function effectively are thinking and communication skills to interact with all levels of the organisation. This course focuses on participants embarking on the compliance function where they will be exposed to problem solving approaches which would be useful in their roles and responsibilities. Participants will also be able to convey ideas and information by applying the communication process to ensure clarity, persuasiveness and confidence.  

Objective

This programme will enable participants to recommend a solution for a problem or issue supported by possible options in a given situation related to the compliance function  

Learning Outcomes

By the end of this programme, participants will be able to:

• Describe thinking and problem solving frameworks and fundamentals
• Determine the steps to enhance thinking skills to assess compliance matters
• Explain the concept and process of problem solving and decision making in overseeing the compliance of the relevant rules and regulations
• Identify potential decision-making strategies in dealing with possible misconduct
• Develop effective communication techniques to manage compliance conversations

Target Audience

Individuals New entrants: Compliance Offiers, Dealers, Trading Representatives, Risk Management Officers, Fund Managers and Analysts. Companies Fund management companies, stockbroking firms, investment banks,  alternative financing platforms, startups, exchanges, public listed companies  

Programme Outline

Registration

Thinking Frameworks and Fundamentals A framework for thinking The need for thinking skills Enhancing thinking skills Dealing with compliance issues

Screen Break

Essentials of Problem Solving and Decision Making Data gathering Analysis Decision making strategies Overseeing the application of and conformance with the relevant rules and regulations

Lunch

Communication for Better Workplace Efficiency Listening skills crucial to the compliance function Communication in context Verbal and written communication and effectiveness Bringing compliance issues to the attention of the BOD and management

Screen Break

Managing Effective Compliance Conversations Managing effective compliance conversations Handling difficult conversations Effective use of digital communication Choosing the right communication channels

End of Programme

Networking and Relationship Building in Compliance

Overview

The compliance unit is essential in any capital market intermediary as it serves to ensure that everyone working in the capital market intermediary adheres to laws and regulation. In order to carry out its function effectively, the compliance unit should establish a strong network and relationship with internal and external parties to ensure the smooth running of the business at the same time comply with laws and regulations. The course will enable participants to create networking opportunities and build relationships with both internal and external parties to enable meaningful conversations on compliance to be carried out. This course introduces techniques and strategies to build confidence in networking among various stakeholders. Participants will take part in discussions, interactive tasks and role plays to immediately put into practice the techniques and strategies taught.  

Objective

Participants will be able to build effective networks between compliance unit and various stakeholders and avoid the common pitfalls when building business relationships.  

Learning Outcomes

By the end of this programme, participants will be able to:

• Describe the general concept of business networking and its importance in the compliance fraternity
• Explain the process of starting effective networking relationships and building up rapport with counterparties
• Discuss the common pitfalls when building business relationships among different stakeholders
• Apply the appropriate techniques when asking questions to counterparties
• Articulate the importance of establishing meaningful business relationships and effective stakeholder engagement

Target Audience

Individuals For aspiring compliance professionals & all employees in the capital market: Compliance Offiers, Dealers, Trading Representatives, Risk Management Officers, Fund Managers and Analysts. Companies Fund management companies, stockbroking firms, investment banks,  alternative financing platforms, startups, exchanges, public listed companies  

Programme Outline

Registration

Essentials of Networking General concept of networking in business Networking needs for compliance Internal network External network Networking for compliance role: professional networking vs social networking vs personal networking Similarities and differences in networking practices among different networks Preparation in Establishing Network Examining existing network External: Regulators, counterparts in the industry, professional association, social media networks Internal: Management, Board of Directors, internal departments Professional associations Online/social media networks

Screen Break

Building Effective Networking How to initiate communication based on types of networking Tailoring communication style and delivery method according to network type Asking questions effectively What to ask during networking sessions? What not to ask during networking sessions? Open ended vs close ended Common pitfalls to avoid during communication Role play: Initiate conversations during networking sessions using effective questioning techniques based on types relationships

Lunch

Expanding and Strengthen Network Building-up rapport with new network Managing existing networks and working relationships Networking events and expectations Face-to-face etiquette and best practices Online etiquette and best practices Building Meaningful Relationships Importance of building meaningful relationships Key to a lasting relationship in business Managing network among crucial stakeholders Regulator Board of Directors Management

Screen Break

Making Effective Stakeholder Engagement Perform stakeholder analysis to identify their needs and concerns Stakeholder Engagement Continuum How to persuade and influence various stakeholders in getting buy-ins? Role play: Networking with different types of stakeholders by them?

End of Programme

Communities of Practice (Real Life Scenarios)

Recommended Learning Hours: 120 minutes (3 scenarios per group, presentation of 10 mins per group)

Overview

This programme primarily gives an overview on the compliance concepts and issues from real life scenarios perspective and the practical approaches that a compliance officer can take in managing them effectively.  

Objective

Upon completion of this programme, participants will be able to:

1. Describe the anti-bribery and corruption requirements of reporting institutions in capital market
2. Recognise the ESG agenda and its potential implications for all companies, particularly those who are regulated and/or listed
3. Explain the use of derivatives in derivatives trading
4. Examine the importance in providing proper client advisory based on customer suitability
5. Assessing whether a candidate satisfy the Fit & Proper criteria for conducting regulated activities
6. Recognise the balance between risk and return and investment suitability based on customers’ risk profile, needs and investment horizon.
7. Distinguish the different capital raising options and the main pros and cons
8. Discuss the issues around licensing requirements in a country and cross-border basis
9. Outline the role of SIDREC and the complaints that can be brought to the SIDREC for dispute resolution and its limitations
10. Identifying red flags of a specific example of money laundering
11. Discuss on the need of having effective policies to manage potential conflict of interest to safeguard sensitive information
12. Recognise the importance of information security reporting requirements and the implications of not reporting breaches to the regulators and exchange on a timely basis
13. Describe fair dealing with customers in accordance with the Code of Ethics and Code of Conduct for Capital Markets
14. Identifying ransomware red flags as part of cybersecurity awareness
15. Recognise the application of a data governance policy and the implications it will have on the organisation.
16. Indicate the implications of not performing and reporting reviews on a timely basis
17. Explain the concept of 3 lines of defence and the roles of, and expectations of, a compliance and the role of compliance
18. Infer the AML/CFT requirements and how they tie to sanctions additional challenges posed by digital onboarding
19. Recognise the role of the compliance function, the issues faced by it and how it can add value to an organisation
20. Deliberate the different factors, we need to consider in relation to data management

Scenarios

This programme will cover:

1. Anti-bribery and Corruption
2. Environmental, Social and Governance
3. Derivatives
4. Client Advisory
5. Fit & Proper Criteria
6. Overview of Risk and Return and Investment Suitability
7. Capital Raising
8. Regulated Activities and Permitted Activities
9. Going to Securities Industry Dispute Resolution Center (SIDREC)
10. Anti-Money Laundering
11. Managing Chinese Walls and Personal Account Dealing Policies
12. Timely Reporting of Breaches
13. Treating Customers Fairly: Engaging in Unfair Market Practices
14. Identifying Ransomware
15. Data Governance
16. Reporting of Reviews
17. The Compliance Role
18. AML/CFT, Sanctions and Digital Onboarding
19. The Compliance Role – Cost or Benefit?
20. Managing Customer Data

Webinar (inc. Certificate)

The CCMP in Compliance 1’s E-Learning and Webinars are available as standalone packages. Register for the complete CCMP in Compliance 1 programme to earn the CCMP certification.

PROGRAMME NAME	REGISTRATION END DATE	ASSESSMENT	SCHEDULE	FEE (RM)	REGISTRATION LINK
CCMP – C1 (Intake 11/2025)	8 May 2025	17 June 2025 10.00am – 12.30pm	View Here	3,800.00	Register Here
		17 June 2025 2.30pm – 4.00pm			Register Here
CCMP-C1   (Intake 12/2025)	14 Aug 2025	23 Sept 2025 10.00am – 12.30pm	View Here	3,800.00	Register Here
		23 Sept 2025 2.30pm – 4.00pm			Register Here
CCMP-C1   (Intake 13/2025)	2 October 2025	25 Nov 2025 10.00am – 12.30pm	View Here	3,800.00	Register Here
		25 Nov 2025 2.30pm – 4.00pm			Register Here